Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Thomas Pezzello is a financial advisor who has been in the industry since December 1997. Frank is currently registered with Charles Schwab & CO., Inc. in Phoenix, AZ. Before joining Charles Schwab & CO., Inc., Frank was registered with TD AMERITRADE, INC., Charles Schwab & CO., Inc., Brown Brothers Harriman & Co., J.P. Morgan Securities Inc., Morgan Stanley DW Inc., EXCO RMJ INTERNATIONAL INC., EXCO RMJ SECURITIES CORP., and Kensington Wells Incorporated. Frank has passed the Series 3, Series 4, Series 7, Series 9, Series 10, Series 24, Series 63, and Series 65 exams.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
AZ
11/18/2022 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
TX
08/26/2011 - 07/29/2024
TD AMERITRADE, INC. (FORT WORTH TX)
NY
12/02/2008 - 08/25/2011
CHARLES SCHWAB & CO., INC. (NEW YORK CITY NY)
NY
07/30/2007 - 10/24/2008
BROWN BROTHERS HARRIMAN & CO. (NEW YORK NY)
NY
07/24/2003 - 07/24/2007
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
08/24/1998 - 07/14/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
NA
11/05/1996 - 05/06/1997
EXCO RMJ INTERNATIONAL INC.
NY
11/05/1996 - 05/06/1997
EXCO RMJ SECURITIES CORP. (NEW YORK NY)
NA
11/30/1994 - 03/28/1995
KENSINGTON WELLS INCORPORATED
IA
Issued 07/17/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/20/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/16/2003
Series 4 - Registered Options Principal Examination
BC
Issued 08/13/2003
Series 24 - General Securities Principal Examination
BC
Issued 04/02/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/23/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/25/2001
Series 3 - National Commodity Futures Examination
BC
Issued 11/29/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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